What’s in it for you as an employee of QFG?

• Health & wellbeing resources and programs

• Paid vacation, personal, and sick days for work-life balance

• Competitive compensation and benefits packages

• Work-life balance in a hybrid environment with at least 3 days in office

• Career growth and development opportunities

• Opportunities to contribute to community causes

• Work with diverse team members in an inclusive and collaborative environment

We’re looking for our next Compliance Officer, Business Integrity. Could It Be You?

The Compliance Officer, Business Integrity is primarily responsible for investigating escalated client complaints received by the Enterprise Business Integrity team, liaising with regulators and external reviewing bodies, and monitoring the resolution of any issues found during the complaint's investigations. The Compliance Officer will also leverage new technologies including AI tools in order to increase the efficiency of assigned tasks.

Need more details? Keep reading…

In this role, responsibilities include but are not limited to:

• Review escalated clients complaints in a fair, transparent, objective, and factual manner, and issue detailed written responses to clients.

• Ensure that regulatory timelines for complaints handling are consistently maintained.

• Maintain knowledge of the internal policies & procedures, and external regulatory requirements of QFG’s various entities (including Questrade Inc, QWM, CTC, Questbank, Flexiti and Zolo).

• Identify, report, and monitor the resolution of any issue identified during the complaint investigations (such as process gaps, system limitations, coaching needs etc.).

• Identify and escalate any issue or trends to relevant parties.

• Ensure maintenance of complete records, providing a clear audit trail for complaints.

• Gather information requested by various regulators and prepare responses for review.

• Administer various compliance audits & testing, and prepare formal memorandums summarizing the results of such reviews.

• Provide support to the Manager & Director, Business Integrity for reports to Senior Management and Compliance Committees.

• Provide guidance & support to various business units with potential/confirmed complaints and other issues.

• Take ownership of processing and completing all tasks as assigned.

• Adapt to new technologies including leveraging AI to streamline investigations.

• Provide support and guidance to Compliance Analyst staff, where needed.

• Assist with the creation and deployment of training materials to other employees to foster a culture of compliance with consumer protection requirements.

So are YOU our next Compliance Officer, Business Integrity? You are if you…

• Have previous experience in a compliance, risk management or audit role.

• Have a post secondary degree/diploma in Business Administration / Commerce, Finance, Economics, Law or in a related field.

• Have strong knowledge of banking & investment products.

• Have knowledge of retail securities trading and capital markets.

• Have the ability to make decisions independently based on available information.

• Have the ability to break down complex or multi-dimensional problems, interpret and determine relevancy of information, and use reasoning to identify options and solutions.

• Have strong planning, organizational and time-management skills - including the ability to identify tasks and resources required to complete investigations within pre-determined timelines.

• Have strong written and oral communication skills, including the ability to communicate effectively and professionally with clients, internal and external stakeholders in a clear and concise manner.

• Have the ability to understand and adapt to new technologies including leveraging AI to streamline investigations and other tasks.

Additional kudos if you…

• Have complete course/certifications such as Canadian Securities Course (CSC), Conduct and Practice Handbook Course (CPH), Derivatives Fundamental Course (DFC), Options License Course (OLC), Options Supervisor Course (OPSC), Branch Managers Course (BMC)

• Are Bilingual - written and verbal fluency in English and French

Additional Information…

• Please note this role will be required to be in office 3 days a week

Sounds like you? Click below to apply!

#LI-MC1

#LI-HYBRID